DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Catawba River Capital
Latest filing Feb 18, 2026
First filing on the tape Mar 27, 2012 · 30 filings
SEC status approved since May 16, 2018
RAUM
$325M
reported, Item 5.F
Discretionary
83%
of RAUM
Private clients
88%
$286M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$108M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$325M as of Feb 18, 2026
Mar 27, 2012$39.1M then
HNW client RAUM$240M as of Feb 18, 2026
Mar 7, 2019$69.4M then
State-registered IARs (5.B.3)3 as of Feb 18, 2026
Mar 27, 20120 then
Employees (5.A)4 as of Feb 18, 2026
Mar 7, 20194 then
Private funds: no history
RAUM +24% over the last fiscal year+16% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 18, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $108MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 86derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $362,848derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 83%derivedof RAUM
- Institutional
- 7.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +16%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
- Custody
- $111M, 112 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$240M74%
- Individuals$45.8M14%
- Pension and profit-sharing plans$22.2M6.8%
- Corporations and businesses$14.2M4.4%
- Charitable organizations$2.6M0.8%
- Individual clients
- 139reported
- HNW clients
- 118reported
- Pension plan clients
- 6reported
- Charitable clients
- 4reported
- Accounts
- 896reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $111M for 112 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Derek Martin LewisCertified Financial Planner | Lake Wylie, Sc | Dec 14, 2020 | 14 y | 0 |
| Jonathan A Shaw | Lake Wylie, Sc | Apr 13, 2023 | 11 y | 0 |
| Robert Paul Boggs | Lake Wylie, Sc | Feb 19, 2025 | 30 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Robert Paul Boggs from Raymond James Financial Services, Inc.Feb 19, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Paul Robert Boggs · Presidentcontrolsince 07/2000 · owns 75% or more
- Martin Derek Lewis · Chief Compliance Officercontrolsince 04/2018 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lake Wylie, Sc · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Belmont, NC1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Feb 18, 2026pension consulting (Item 5.G.6): no on the filing of 2025-03-19, yes on the filing of 2026-02-18peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 837 to 896Mar 19, 2025 to Feb 18, 2026
- Advisory activities · 4 to 5Mar 19, 2025 to Feb 18, 2026
- Corporate clients · 7 to 8Mar 19, 2025 to Feb 18, 2026
- HNW clients · 101 to 118Mar 19, 2025 to Feb 18, 2026
- Individual clients · 121 to 139Mar 19, 2025 to Feb 18, 2026
- Pension plan clients · 0 to 6Mar 19, 2025 to Feb 18, 2026
- Assets in custody · $94.0M to $111MMar 19, 2025 to Feb 18, 2026
- Discretionary RAUM · $233M to $271MMar 19, 2025 to Feb 18, 2026
- HNW RAUM · $202M to $240MMar 19, 2025 to Feb 18, 2026
- Individual RAUM · $45.8M to $45.8MMar 19, 2025 to Feb 18, 2026
- Non-discretionary RAUM · $29.9M to $53.9MMar 19, 2025 to Feb 18, 2026
- Pension RAUM · $0 to $22.2MMar 19, 2025 to Feb 18, 2026
- RAUM · $262M to $325MMar 19, 2025 to Feb 18, 2026
- Accounts · 820 to 837Mar 29, 2024 to Mar 19, 2025
- BD registered reps · 3 to 0Mar 29, 2024 to Mar 19, 2025
- Business name · R.P. BOGGS & CO. WEALTH MANAGEMENT to CATAWBA RIVER CAPITALMar 29, 2024 to Mar 19, 2025
- Charity clients · 3 to 4Mar 29, 2024 to Mar 19, 2025
- HNW clients · 77 to 101Mar 29, 2024 to Mar 19, 2025
- Individual clients · 141 to 121Mar 29, 2024 to Mar 19, 2025
- Assets in custody · $79.3M to $94.0MMar 29, 2024 to Mar 19, 2025
- Financial planning clients · 101-250 to 101-250Mar 29, 2024 to Mar 19, 2025
- Legal name · R.P. BOGGS & CO. to CATAWBA RIVER CAPITALMar 29, 2024 to Mar 19, 2025
- Discretionary RAUM · $226M to $233MMar 29, 2024 to Mar 19, 2025
- HNW RAUM · $144M to $202MMar 29, 2024 to Mar 19, 2025
- Individual RAUM · $78.0M to $45.8MMar 29, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $9.4M to $29.9MMar 29, 2024 to Mar 19, 2025
- RAUM · $235M to $262MMar 29, 2024 to Mar 19, 2025
- Accounts · 777 to 820Mar 28, 2023 to Mar 29, 2024
- BD registered reps · 0 to 3Mar 28, 2023 to Mar 29, 2024
- Charity clients · 6 to 3Mar 28, 2023 to Mar 29, 2024
- Corporate clients · 4 to 7Mar 28, 2023 to Mar 29, 2024
- HNW clients · 80 to 77Mar 28, 2023 to Mar 29, 2024
- Individual clients · 142 to 141Mar 28, 2023 to Mar 29, 2024
- Assets in custody · $64.4M to $79.3MMar 28, 2023 to Mar 29, 2024
- Employees · 6 to 4Mar 28, 2023 to Mar 29, 2024
- Discretionary RAUM · $200M to $226MMar 28, 2023 to Mar 29, 2024
- HNW RAUM · $143M to $144MMar 28, 2023 to Mar 29, 2024
- Individual RAUM · $52.6M to $78.0MMar 28, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $6.8M to $9.4MMar 28, 2023 to Mar 29, 2024
- RAUM · $207M to $235MMar 28, 2023 to Mar 29, 2024
Signals
2 dated events
- Lynn Debra Dagilus (Director Of Operations) no longer on Schedule A of Catawba River Capital (listed 2023-03-28, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- R.P. Boggs & Co. filed its initial SEC registration (Form ADV)Apr 16, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@catawbarivercapital.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 803-831-0911reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 984-208-8887reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- catawbarivercapital.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 803-831-0911reportedpublic record, Form ADV, Feb 18, 2026
- Contact form
- catawbarivercapital.com/contactreportedpublished by the firm, firm site, Sep 17, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $108Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026